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Broker-dealer Compliance: A Case-based Guide to Compliance Program Elements and Practices - Couverture souple
Synopsis
Broker-Dealer Compliance is a concise yet comprehensive guide that reviews the state of broker-dealer compliance, both from general and practical perspectives. While the book has a practical focus, it also makes use of legal scholarship and behavioral and organizational literature on compliance that have grown exponentially in recent years.
James Fanto discusses the main, well-established elements and practices in a broker-dealer compliance program and illustrates them with case studies and practical examples drawn from real-life situations to demonstrate the goals of a particular program element and problems in its implementation. Moreover, each chapter highlights the pressures on compliance officers and the trends that collectively may transform compliance practice in a particular area.
Professionals in broker-dealer and investment firm compliance practice will find this book a readable introduction to the field. Experienced practitioners can refresh their knowledge and even learn something new about brokerage compliance program elements and practices.
Les informations fournies dans la section « Synopsis » peuvent faire référence à une autre édition de ce titre.
À propos de l?auteur
James A. Fanto, Gerald Baylin Professor of Law and Co-Director, Center for the Study of Business Law and Regulation, Brooklyn Law School, US
Les informations fournies dans la section « A propos du livre » peuvent faire référence à une autre édition de ce titre.
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Broker-Dealer Compliance: A Case-based Guide to Compliance Program Elements and Practices
Edité par
Edward Elgar Publishing Ltd, 2023
ISBN 10 : 1800889585
ISBN 13 : 9781800889583
Neuf
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Vendeur : Kennys Bookshop and Art Galleries Ltd., Galway, GY, Irlande
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Broker-Dealer Compliance
Edité par
Edward Elgar Publishing Ltd, GB, 2023
ISBN 10 : 1800889585
ISBN 13 : 9781800889583
Neuf
Paperback
Vendeur : Rarewaves.com UK, London, Royaume-Uni
Évaluation du vendeur 5 sur 5 étoiles
Paperback. Etat : New. Broker-Dealer Compliance is a concise yet comprehensive guide that reviews the state of broker-dealer compliance, both from general and practical perspectives. While the book has a practical focus, it also makes use of legal scholarship and behavioral and organizational literature on compliance that have grown exponentially in recent years.James Fanto discusses the main, well-established elements and practices in a broker-dealer compliance program and illustrates them with case studies and practical examples drawn from real-life situations to demonstrate the goals of a particular program element and problems in its implementation. Moreover, each chapter highlights the pressures on compliance officers and the trends that collectively may transform compliance practice in a particular area.Professionals in broker-dealer and investment firm compliance practice will find this book a readable introduction to the field. Experienced practitioners can refresh their knowledge and even learn something new about brokerage compliance program elements and practices. N° de réf. du vendeur LU-9781800889583
Quantité disponible : Plus de 20 disponibles
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Broker-Dealer Compliance: A Case-based Guide to Compliance Program Elements and Practices
Edité par
Edward Elgar Publishing Ltd, 2023
ISBN 10 : 1800889585
ISBN 13 : 9781800889583
Neuf
Paperback / softback
Vendeur : THE SAINT BOOKSTORE, Southport, Royaume-Uni
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Paperback / softback. Etat : New. New copy - Usually dispatched within 4 working days. 166. N° de réf. du vendeur B9781800889583
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Broker-Dealer Compliance
Vendeur : PBShop.store UK, Fairford, GLOS, Royaume-Uni
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PAP. Etat : New. New Book. Shipped from UK. Established seller since 2000. N° de réf. du vendeur FW-9781800889583
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Broker-Dealer Compliance
Edité par
Edward Elgar Publishing Ltd, GB, 2023
ISBN 10 : 1800889585
ISBN 13 : 9781800889583
Neuf
Paperback
Vendeur : Rarewaves.com USA, London, LONDO, Royaume-Uni
Évaluation du vendeur 5 sur 5 étoiles
Paperback. Etat : New. Broker-Dealer Compliance is a concise yet comprehensive guide that reviews the state of broker-dealer compliance, both from general and practical perspectives. While the book has a practical focus, it also makes use of legal scholarship and behavioral and organizational literature on compliance that have grown exponentially in recent years.James Fanto discusses the main, well-established elements and practices in a broker-dealer compliance program and illustrates them with case studies and practical examples drawn from real-life situations to demonstrate the goals of a particular program element and problems in its implementation. Moreover, each chapter highlights the pressures on compliance officers and the trends that collectively may transform compliance practice in a particular area.Professionals in broker-dealer and investment firm compliance practice will find this book a readable introduction to the field. Experienced practitioners can refresh their knowledge and even learn something new about brokerage compliance program elements and practices. N° de réf. du vendeur LU-9781800889583
Quantité disponible : Plus de 20 disponibles
Image fournie par le vendeur
BrokerDealer Compliance A Casebased Guide to Compliance Program Elements and Practices
Edité par
Edward Elgar Publishing, 2023
ISBN 10 : 1800889585
ISBN 13 : 9781800889583
Neuf
Couverture souple
Vendeur : moluna, Greven, Allemagne
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Etat : New. N° de réf. du vendeur 737363745
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BrokerDealer Compliance A Casebased Guide to Compliance Program Elements and Practices
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Paperback. Etat : Brand New. 209 pages. 8.25x5.00x0.50 inches. In Stock. N° de réf. du vendeur __1800889585
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Broker-dealer Compliance : A Case-based Guide to Compliance Program Elements and Practices
Edité par
Edward Elgar Publishing, 2023
ISBN 10 : 1800889585
ISBN 13 : 9781800889583
Ancien ou d'occasion
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Vendeur : GreatBookPrices, Columbia, MD, Etats-Unis
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Broker-Dealer Compliance: A Case-based Guide to Compliance Program Elements and Practices (Elgar Compliance Guides)
Edité par
Edward Elgar Publishing, 2023
ISBN 10 : 1800889585
ISBN 13 : 9781800889583
Neuf
Couverture souple
Vendeur : Majestic Books, Hounslow, Royaume-Uni
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Broker-dealer Compliance : A Case-based Guide to Compliance Program Elements and Practices
Edité par
Edward Elgar Publishing, 2023
ISBN 10 : 1800889585
ISBN 13 : 9781800889583
Ancien ou d'occasion
Couverture souple
Vendeur : GreatBookPricesUK, Woodford Green, Royaume-Uni
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Etat : As New. Unread book in perfect condition. N° de réf. du vendeur 44858180
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